Cook et al v. John Hancock Life Insurance Company et al, No. 7:2012cv00455 - Document 42 (W.D. Va. 2013)

Court Description: MEMORANDUM OPINION (Amended). Signed by Judge James C. Turk on 3/13/13. (med)

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nlp*K: OFFI U. . SX COtr CE : DI l AT ROANOKE, VA FI LED I TH E UNI N TED STATES DI STRI COURT CT FOR THE W ESTERN DI STRI OF VI NI CT RGI A RO AN O K E D I SI N VI O 1 KENNETH COOK ,e al, . t . Pl ntf ai ifs, MA2 132 1 23 2UL C. UD ' , W CLERK BY: ' .EPUR ' - F r CIER; . Cas Nos 7: 2- ve . 1 c 00455 M EM O R AN D UM o l o x l qM JO H N H A N C O CK LI I SU M N CE FE N COM PANY ( S. ) etaI, U. A., . Defnda s e nt. ) By: Jam e C.Tur s k Seni U ni e St esD i t i tJudge or t d at src ) Pendi be or t Cour i a m o i by J hn Ha oc Lie I lr nc Company ng f e he t s ton o nc k f nsza e ( S. ) (SHLI ' t sa pr e ngs i t s c s pe ng t co ei of abir ton U. A.2 E C' o ty oce di n hi a e ndi he mplton J ) r tai bewe n Pli tfs a one ofJ C' c de e nt,Cr t e a n if nd HLI S o- f nda s own Ca t Sec ii s LP.ECF No. pial urte , 36.The moton ha be n f l bref d a t pa teshave i c t d t tt y do no desr a i s e uly i e nd he ri ndia e ha he t ie he rng.Ac or ng y,t m o i i now rpe f rdiposton.Fort r as s tf t be ow,t ai c di l he ton s i o s ii he e ons e orh l he m oton t sa ECF No.36,i GR ANTED,a t e ie y oft s c e i sa d pe ng t i o t y, s nd he ntr t hi as s t ye ndi he c omplton oft a bir ton.As s tf rh he ei howe r c ms lf r a pa t m a pe ii ei he r ta i e o t r n, ve , ot e o ny ry y tton t Cour a a tme t e t sa i t a bir ton t kesa undul l tm e o i a pa t he t t ny i o nd he ty f he r ta i a n y ong i , r f ny ry b le e t a i wils fe irpaa l hnm o b u d l p eu ie fo te c n iung sa eiv s h t t l u fr re rb e r r e n uy rj dc d r m h o tn i ty. Addii l t t pe ng m o i t dimi s ECF Nos 2,1 a e DENI W I OUT tonaly, he wo ndi tons o s s , .1 8, r ED TH PREJUDI butwhe t sa i lfe t pa tesm a r ne t rm o i ,wihouta tona CE, n he t y s itd he ri y e w hei tons t ddii l bre i ora glme r quie , a as t Cour t nleon et rm o i t dimis3 i fng r z nt e r d nd k he to l ihe ton o s s . 1The Cour' M ar 1l 2013 M em or ndum Opi on i r ty r ered t a moton t dim is ts ch , a ni ncor ec l ef r o i o s s asECF No.17,r he t n ECF No.18.Tha i t onl cha her i fom t Cour ' prorOpi on. at r ha t s he y nge en r he ts i ni 2A sap ei na y mater a dwi tea re n o teafce p ris iih rb ORDERED lmi r t , n t h je me t f h fe td at ,t s ee y r h e t t t syl oft cas i t s mate ,whih l pr l names as a D ef ha he t e he e n hi tr c m opery endant dl çohn Hancock Lie f I ur nce Company' be amended t r l tt pr ns a ' o efec he operna e oft te iy,çlohn Hancock Lie I ur m ha ntt t f ns ance Co ajThS. I' e ECFNo 1 a n1 mp n ( A..S e U. ' .3 t . eCo r wa i tepo eso pe aigi o iino tet g n igmoin t ds s, u t s n h rc s f rp rn t gno n h wo e dn t s o imis s o ECF Nos.1 18.I lghtoft Cour ' r i t a s a l appr it a t stme,t Cour concl 2, n i he ts ulng hat t y s opra e t hl i he t udes t tt e a pr p it c re i t d n t s mo inswih utprj c t a pa t sa ly t r a s r ha h p o rae ou s s o e y ho e to t o eudie o ny ry' bii o e s et t t m ,r he t l ng t m otonspendi on t Cour' docke f an ext nded perod oftm e. he at r han eavi he i ng he ts t or e i i 1 . FA CTU AL BA CK G R O UN D A. The Partes and ProceduralBackground i Pl i if a e Dr 1 Ke t Cook,a r tr physcan a r i ntofVigi a,a t antfs r . . nneh e ied i i nd esde r ni nd he Ke t Coo Ir voc bl I ur nce Tr t by is Tr se Ker t Todd Cook.Thi c e nneh k r e a e ns a us, t u t e, meh s as i ve cli s a ii outoft r l tons p be we n Dr Coo a hi i t e ad s r nvol s am rsng he e ai hi t e . k nd s nvesm nt vie , De e nt N e l Cope a W i e r f nda i l nd nt r owd. A cc di t t Com pl i , W i e r d de r ude or ng o he a nt nt r ow fa d Pl i if , c usng t m t i tr s gnik a fna a la ltes A s a l ge i t Com pl i , a ntf s a i he o nc t i t nt i nci l i biii . le d n he a nt W i er nt rowd ha busnes r l to hi wiht r i ng de e an s a des rbe be o . d i s e ai ns ps t he emani f nd t , s c i d l w Spec f c ly,i addii t D e e ii a l n ton o f ndan W i e r w d,t r a e f uro he def nda s t nt r o he e r o t r e nt : J LI a M i hi n c por ton w ih is prnci l pl c of bus nes i H C, c ga or a i t t i pa a e i s n M as a s chus t s et' , Cr wn Ca t Se urtes LP (( o ',aDeawa epa t rhi wih is o pial c ii , çCr wn' ) l r rnes p t t 4. prncpa pl c ofbusne si Ca iom i i i l ae i s n lf a, J Tur r & Co. LLC, a Geo gi lm ie la lt c P ne , r a i td i biiy ompa wih is ny t t pr nc pa pl c ofbus ne s i Geor a'a i i l ae i s n gi , nd Na i de,a Ohi c por ton wih is prnci lplce of busne s i tonwi n o or a i t t i pa a i s n Ohi o. W itro wo k d a a Fia il I usr Re ultr Au h rt (FNRA'4 rgset n er wd r e s n nca nd ty g ao y t o iy û l 1 ' e itr d ) r pr s nt i f Cr e e e atve or own fom M a 2004 t Augus 2009,a f J Tur rfom Augus 2009 r y o t nd or P ne r t t Se e be 2011. o pt m r J LI ' co c i t t ca e i ba e on t f tt tW i e r H C S nne ton o he s s s d he ac ha nt r owd r om m e d a an ec nde s i smenta s d t Dr Coo ( t rdie ty o t ough Ke n Ytr )a $1 milon lf nve t nd ol o . k eihe r cl r hr vi tkus 0 li ie i tr nc polc f om J LI i 2007. Pl i if a l ge t t W i er o d m a c r a n nsl a e iy r H C n a ntf s le ha nt r w de e t i r pr s nt tons i conne ton w ih t s s l t twe e bot ne i nta f a en .W i er owd e e e ai n ci t hi a e ha r h glge nd r udul t nt r t t a tona s e r a e t t J LI Polc t t Pl ntf s c e al o gi r s t hen ook ddii l t ps el t d o he H C i y ha ai if ont nd s ve i e o ' 4 FI NRA > c eat i 2007' çi a r ser > s fr at y or za im aut i d under t r ed n çs egit ed el-egul or gani tc horze he SecurtesExc ii hange Ac of 1 ' M or Keegan & Co.v.Siver an, F. t 934.' gan l m 3d ,201 W L 425556,at 3 *1& n. ( hCi. b. 201 ) 2 4t r Fe 4, 3 . la lt on t pa to J C.Nai nwi i nn d a a De e n bec us W i t rowd alo ibiiy he r f HLI to de s me s f nda t a e n e r s s d Dr Cook a Ammiy fom Na i de i 2006,a l tr i 201 m a a wihdr walfom ol . n t r tonwi n nd ae , n 0 de t a r t tn t wihoutD r Cook' pe m i s o and a l ge y s ol t e f ha nnuiy t . s r sin le dl t e hos unds . Al t de e l he f ndant ha be n s r d and a 1 e e W i e r s ve e e ve l xc pt nt rowd ha fl d et r an ve ie ihe ans rora moton t dim is JP.Tur rhasa we e a fld a c os - l m f i e niy, we i o s s. . ne ns r d nd ie r s cai or nd m t co zbuton, and ato neys f s and c t a i t W i e nti i tr ' ee os s ga ns nt nrwd, but ha not fl d a m oto t s ie in o d s s . to wiea d J C ha efld moi n t c s s .Cr wn h dp e iu l mo e t imis Nain d n HLI v ie to s o i mis o a r vo sy v d o i co pe a bir i of t c am s a ns i a t t m oton wa gr nt d wih t a s nt of m l r taton he l i gai t t nd ha i s a e t he s e Pl ntfs Ac r ngl t pr ee ngsag ns Cr ai if . co di y, he oc di ai t own a ecure l sa d. r r nty t ye B. W i er w d' E ar y l l m e w ih D r C ook and H i Sal oft JH L I nt ro s l nvo ve nt t . s e he C lnsurance Polcy i l or rt unde sand t r a i hi bewee t mbir bl cli a i tCr wn a n de o rt he eltons p t n he ta e a ms ga ns o nd t r m ani ca ms i t ca e i i ne es a y t dic s t f c s a l d by Pl i if .The he e i ng li n he s , t s c s r o s us he a t lege antfs Com pl i a l ges t t i 1 a nt le ha , n 994,w hie he w a lvi and w o ki i W e t V i g ni Dr Cook l s i ng r ng n s r i a, . bega r cevi i sm e a i lr nc a c fom Defnda W i e r n e i ng nve t nt nd nsza e dvie r e nt ntr owd.ECF N o. Compl ! 1 Mr W i er wa a r gitr d FI . 2. . ntrowd s e se e NRA s urtes rprs nttve pr di ec ii e e e ai ovi ng s r c s a t ttmet ough Smih Ba ne W he Dr a M r .Coo moved ba k t Vigi ai e vi e , t ha i hr t r y. n . nd s k c o r ni n 1 997, W i t rowd c i d t pr de t ner ontnue o ovi hem s r c as a fna a ad s : p o di e vies i ncil vior r vi ng i t nt a i ur nc a c ma i i t e s a s li va i i ur nc a nvesme nd ns a e dvi e, nag ng nvesm nt , nd elng rous ns a e nd s c ii pr e urtes oduct t t m . Dt ng t tm e he s r e as D r Cook' tna i a s , s o he ui he i evd . s i nc al dvi or W i e r d w a a FI I A r gi t r d r pr s nt tve f s ve a def nt :Cr n f om M a nt r ow s N L e s e e e e e a i or e r l enda s ow r y 2004 t A ugus 2009 a J Tur r f o Aug t2009 t Se e be 2011. o t nd P ne r m us o pt m r I 2007, W i ero s d Dr Coo a $1 milon lf i tr nce polc fom J n nt r wd ol . k 0 li ie nsta iy r ohn Hanc k (he1Po1c '.Dr Cook aleg t ts h a polc wast xce svey lr ' a çfr oc t $ iy') . l es ha uc iy t s i l a ge' nd ta e b y ndtea t ta Dr Co k t ug th mih n e 'ECF No 1 Co l! 1 . n n l e o h momt h t . o ho h e g t e d. ' . , mp . 5 The n ua prmil frt frtye rwa $257, J=! 16.Dr Cook ale st tW i er wd as t d e lm o he is a s 957.J. . lge ha ntro lo ol hi t theco dborow mone f t prmi fom aba i nec s ay.JL m ha ul r y or he e ums r nk f e s r . I W i er ntr owd a s d Dr Coo t t Polc co d beus d asa i sme a bes d dvie . k hat he i y ul e n nve t nt nd ol a trt ye r .I s ppor o t sr pr s ntton,W i e r fe wo a s n u t f hi e e e a i nt rowd pr ded doc e sfom Fai a ovi um nt r nv y Ca t de o t a i how t polc c d be s d i t o ye r a a lf s tl m e f r a gai of pial m ns r tng he i y oul ol n w a s s ie e te nt o n am os one m ilon dola s Se ECF No.1 Ex.1 Dr Coo al ge t tFai y Ca t lwa a l t li lr. e , . . k le s ha nva pia s Ca ior ae iy us d by W i e r lf ni ntt e nt rowd a Ke n Yur ,t pr sde ofFanv y Ca t ,t s l nd vi kus he e i nt i a pial o el i t nt.L. ! 1 J Ha oc pad acommiso on t $1 milon polc t Faiwa nvesme s d 7. ohn nc k i . a sin he 0 li iy o r y, whi h D r Cook aleg w ast n s e w ih W i e c . l es he har d t nt nowd. d. I Wi e nt nowd a s d a f iiae t e t ihme ofa lvi tus t bede i natd as dvie nd aclt td he sabls nt i ng r t o sg e t owneroft Polcy.Dr Cook i taly pai t pr m il st t a tm e who e t ihe t he he i . nii l d he e tm o he to y sabls d he tus,M r Re n.W i e r r t . yzi ntr owd s e nty i t u t d Dr Cook t pa t pr mi sdie ty t ubs que l nsr c e . o y he e um r c l o W i ew wdhi et a Dr Cookdi s ntl ms ll nd . d o. Dr Coo f t r alege t t W i erowd r pe t y r pr e ed t t he was i t . k urhe l s ha nt r e aedl e es nt ha n he pr e sofa r ng f r t s l oft Polcy,and ev ha Dr Cook s g s tlm e pa r i oc s rangi o he ae he i en d . i n e te nt pe s n 2 1 Se ECF No.1 Co l ! 21 Dr Co k alg sta te e rp e e tto swe efle a d 01 . e , mp . . . o le e h t h s e r sn ain r as n me el apa tofW i t rowd' fa e s he e.Dr Coo aleg he l t$1 1 1966.0,s e ry r n e r s ' udul nt c m r . k l es os ,4 , 9 om pa d t J C , s e alege y conve t a s ol n b W i e r i o HLI and om l dl red nd t e y nt r owd. C. The U naut i d W ihdra a f om t N atonw i Annui y hor ze t w lr he i de t Dr Coo as aleg W i e r . k lo l es nt rowd a De e nd f ndan JP.Tur r a e la e f r a tons t . ne r i bl o c i s r ur oundi an annuiy contact w ih Defendant N atonw i I 20l0, W i er ow d alegedl ng t r t i de. n nt r l y us d Dr Cook' sg t e fo a dif r nt wihdr walf m t wihd a $1 000 fom t e . s i na ur r m fe e t a or o t r w 50, r he 4 N ai nwi n t - wiho Dr Cook' per ison- i or r t pa t pr m i on t to de nnuiy t ut . s m si n de o y he e um he J C polc SeeECF No.1 Compl ! 24- Alhough Dr Cook wie t f ba k t HLI iy. , . ! 26. t . rd he unds c o W i er nt rowd s t t he c d r tun t o ha oul e t' hem t t Na i de n t Dr Cook a lges o he tonwi nnuiy, . le W i er wd soet s f d ./s 2 Dr Co k as ic re $1 ,3 .3 i s re d rc ag s ntro t l ho e un s J-! 7. . o lo n u rd 42 99 n u r n e h r e f t wihdrwa.J SW i er or he t a l #. ntrowd as al edl c red $50, wihdawn wihoutDr lo leg y onvet 000 t r t . Cook' pemisonfo aPr nta vaibl n t c rc . eECF No.1 Compl!32. s r si r m ude il ra e nnuiy onta t Se , . D. C l m s i t C om pl nt ai n he ai Pl i i f 'Com pl n as e t tve c a ntf s ai t s r s i ount .W ih t e e i of Coun 1 1 how e r t s t he xc pton t 1, ve , he r m a ni c m t d no di f r nta e be w ee de e nt ,a e i ng ot s o t f e e i t t n f nda s ppea i i t ad t nam e a1 o t rng ns e o l f he D e e nt . Count I i a c a m f conve s on. Count 1 a l ge vi a i of t V igi a f nda s s l i or ri 1 le s ol tons he r ni Se u iis Ac,Va Co e j 1 15 2 a d 1 15 2 S cin 1 ( )o t e Fe e a S c rte c rte t . d â 3.- 0 n 3.- 2 , e to 0 b f h d rl e u iis Exc ngeAc of1 ha t 934,and ca msco mon lw fa a c t c i fa i c me ton wih li m a r ud nd onsnztve ' ud n or c i r t t e vi a i .Count Ilnn hos oltons 1 mes a lt de e nt exc ptW i e r l he f nda s e nt rowd a al ge t tt y nd le s ha he we ene i ntf f lng t pr ve W it r o sc r glge or aii o e nt n e r wd' onve so off nds f rf ii t ad rin u , o a lng o equa ey tl s r ie W i e r wd,and f r ne i nty br a ng dute o upe v s ntr o o glge l e chi i s wed t Pl ntf s unde FI o ai if r NRA. Count I al ges Def nda s br ac d fduc a y dute owe t t Pli if a ii out of V le e nt e he i i r is d o he antf s rsng Def nda s r e a i t e ,s clii ,a i ur nc pr es i s sl i Count V, e nt ' ol s nvesm nt e trtes nd ns a e of sonal.La ty, n Pl i if al ge De e nt br ac e e sa i i c r t. antfs le f nda s e hed xpr s nd mpled ontacs I I. AN A LY SIS As no e t Cour has alea or r a bir ton of t cai s agans Cr wn a t d, he t r dy de ed r ta i he l m i t o nd s a d t pr edi a aga ns Cr n. t ye he oce ngs s i t ow ECF N o.35.l i c e r t tt s Cour ha t a t iy t s l a ha hi t s he u hort t s a ltga i of non- r t a e cl i s pendi t out e of t r a ed a bir ton o t y ii ton a bir bl a m ng he com he el t r tai pr e di , e n a ns non- r i t t a bir ton. A m .H om e A s ur nc Co. v.V e o oc e ngs ve gai t pa tes o he r t a i s a e cc Conc e e Consr Co. I of Va,629 F. 961,964 (t Ci.1 8 )5I d e ,a t e Fo rh rt t. . nc. . 2d 4h r 9 0 . n e d s h ut Cic thas r cognied,t decson a t whe he t say C s a m a tr lr y wih t ditit r ui e z he ii s o t ro t t i te a gel t he src c tsdi c e i t contolisdoc t'A m .Re our ' s r ton o r t ke . ' cove y Cor v. r p. Com pu e i e The m alI agi t rz d r m ng. l .9 F.d 8 , 7 (t Ci.1 9 ) TheFo rh Cic iha h l t t e n wh r i tstu t t nc, 6 3 8 9 4h r 9 6 . u t r ut s ed ha, ve ee t t r e ha i t a bir t ' fndi he r taor s i ngs wil no be bi ng a t t e no pa te t t ar ta i l t ndi s o hos t ris o he bir ton, c nsd r to so j dca e o o a a o d n eo c n u in a d p s il ic nsse trs ls o ie ai n f u iil c n my nd v i a c f o f so n o sbe n o itn e ut nonehees m iia ei f vorofsa ng t e ie a ton. Am .Hom eAs tr nc Co. 629F. a t l s ltt n a t yi he ntr c i ' ' sla e , 2d t 964. J C r le on t f egoi a hort i s HLI e i s he or ng ut iy n uppor ofis m oton f s a a al o c t s t t t i or t y, nd s ie o a num ber of dit i c tde i i ns f om t W es e n D it i t of V igi a a e s w he e whe e s rd our c s o r he t r s rc r ni nd l e r r c t ha s a d t en ie c e pe ng a bir ton on l s t n a 1of t c a m s See e g. our s ve t ye he tr as ndi r ta i e s ha 1 he l i . . . , C. Flet Co.v.As n I .UK Lt , 743 F.Supp.2d 575, 589- ( . Va 201 ; B. e pe ns d. 91 W D. . 0) Daa tonalv.Yel Book Sals& Dit.2005 W L 3499929,*3( . Va.De 21 2005) tNai low e sr, W D. c. , ; Hi r l . I v.W iln St r I .( rEas)Lt ,640 F.Su 1 1 ( D. Y. kes ndus. nc. lim ua t ndus Fa t d. pp. 75, 78 S. N. 1 8 ) s eas ECFNo 3 a 4- (olciga dto a a to iy ) 9 6 4 e lo . 7 t 5 c l tn d iin l uh rtl. e Pl i tf s oppos t m oton t sa r s ndi wih t e bas c poi s Fi s , t y a n if e he i o t y, e po ng t hr e i nt . r t he c e t tt r i onl a tve y si ' c nce t tt a bir ton wilr ul in a f t or ontnd ha he e s y û r lm ' ha ha he r ta i l es t d ny acual i l gal tndi ' ECF N o. 38 a 2.l s e i ng.' t n uppo t of t s a g e ,t y poi t t t f c t t t r hi r um nt he n o he a t ha he 5The agr upon ar taton or r ent ed by t Cour, ECF No.35>compeled ar ta i eedbir i de er he t l bir ton pu s a tt t Vigi aAr tain Ac,j8. - 810 A) r t rt n teFe r Ar tain Ac. nt t r u n o he r ni birto t 01 5 .2( , ahe ha h deal bi to t l ha r Ore,mo e v r te Co r sa e te Pani s camsa an tCrwn p n ij te o to o te d r ro e, h ut ty d h lit f' li g is o e dn h uc me f h f a bi ai p s a tt Va Cod j8. 158102 D) l l t i b ifn o t mo ln t sa t epa te r t ton uru n o . e 0 - . ( . d. n her re ig n he to o ty, h ris r do notr er nce t V igi a A c ,i t d dicus ng onl t Feder Ar taton Ac .I addr i t ef e he r ni t nsea s si y he al bir i t n esgng he pr et ofa say oft entr cas how e ,t Cour c udest isaut iy t s a t r toft opri y t he ie e, ver he t oncl hat t hort o t y he es he ltgaton doesnotde ii i pend expr sy on eihers a ut buti t ad derves fom t Cour' ddicr ton t es l t t t e, ns e i r he ts ' s e i o c tolisd k t'Am. c e yCor v. mpue ie Th nna I aiM.lc.96F.d 88 9 ( t Ci. onr t oc e . ' Re ov r p. Co trz d e l ma n n , 3 , 7 4h r 1 96 . 9 ) 6 FI RA Ar ta i Rul s do notr quie f c ua orl ga fndi t be ma buti t a sa e N bir ton e e r a t l e l i ngs o de, nse d tt onl t tt ar taorsa r i a c an ar to l t ryi t a r ' I Se ond, he y ha he bir t ' wa d û y ont i ai nae mde l ng he wa d. d. c m ' t y a gue t tt rc a m saga ns J LI a e i pe ntoft e a i tCr n.The e a n: r ha hei l i i t H C r nde nde hos ga ns ow y xpl i A lhough t c ai s i t pr s nt c s i l t s e s t of t he l m n he e e a e nvo ve he nm e f c s t la lt ofeihe Cr a t , he ibiiy t r own orJ Ha ck i noti a ohn nco s n ny way c i nton t la lt oft ot r Pli if a e s e ng ontnge he i biiy he he . a ntfs r e ki j d me t a an tb t f rt smed ma e , u t s j d me t u g n s g is oh o he a a g s b t ho e u g ns s u h c n a d s ud be j it a d svea. l ohe wo d o g t a n ho l on n e rl n t r r s Plitfsc n a d s ul,b alwe t p s ej ita d s v rl an if a , n ho d e lo d o m u on n e ea labiiy a ns bot en ii i s pa a e f u s a s h i lt gai t h ttes n e r t or m , nd uc pr e ngs w oul not i a oce di d n ny way c e t û onf i ' or r a e c us on' l nc i t ntr uls ' s ons s e es t .' i ECFNo. a 3. r a dfn l , anif c n e t a J C wil o b p eu ie b b i 38 t Thid n ial Plitfs o tnd h t HLI ln t e rj dc d y eng y rq rd t p o e dwih tec s a dt a t E ny p eu c i a an tt ePlitfswh h v e uie o r c e t h a e n h t he s l rj die s g i s h an if o a e o t puruet m at ri t f r m s butPli if a er a a wilngt do s 'I o s he te n wo o u , antfs r e dy nd li o o. d. ' The Cour ha c r uly co i r d Pli if 'a glmen s buti con nc t ta sa of t s a ef l nsde e antf s r l t , s vi ed ha ty t s pr ee ngsi t a o it c s As t Pl ntfs frta gument i i i s e wa he e oc di s he ppr pra e our e. o ai if ' is r , t s n om ys ir l ntwhehert FI RA a bir ton dec son c ans a r tona e be aus i wil a t r eeva t he ' N r tai ii ont i a i l , c e t l t he ve y las i i ty- de e nes m eoft s m ef c ua is st twilbe de i d i t sc e. r e t mplcil-- t nni o he n a t l s ue ha l c de n hi as Pl ntfs s cond poi i lkewie un rua i i pa t bec us i i be id by t r own ai if ' e nt s i s pe s sve, n r a e t s le hei c pl nt i whi h t y l p a 1t Def nda s t t r f r pum os of a m os a1 t c om ai , n c he um l he e nt oge he o es l t 1 he ount . s I i tuet tt r ul o t a bir ton be we n Pl i if a Cr t s r ha he es t f he r ta i t e antfs nd own wilnotbe dee mi tve l tr na i oft camsagans t ohe Defnda s( t bec us i i notbi ngon t m a be a ei he li i t he t r e nt boh a e t s ndi he nd c us t wil no de e m i c ran is , s h a t e r ie i t motons t dim is r r ng l t t r ne e ti s ues uc s hos a s d n he i o s s ega di whehe W i er t r ntrowd c n pr ry be c i r ala nt ofeiher J C or Nai de. a ope l onsdeed r ge t HLI tonwi ) N o t es ,t r a e ove l ppi f c u l a l gali s s N ot bl m os of Pl i if c a m s ne hel s he e r r a ng a t a nd e s ue . a y, t a ntf s' l i a ns J C a s r la lt ba e on a a nc t r ie,ba ed on a cai t tW i enowd gai t HLI s e t i biiy s d n ge y heo y, .. s l m ha nt wa a tng asJ C' a nt Thus bot t a bir bl a non-r ta e cli swilr quie a s ci HLI S ge . , h he r ta e nd a bir bl am l e r de e m i ton ofw he he W i e r d e t r di or di nott ke t a tons a l ge by Pl ntf s t r na i t r nt r ow ihe d d a he c i le d ai i f a et r di o di not ma t r pr s ntto alege by Pli if The e f t s f t r nd ihe d r d ke he e e e a i ns l d antf. s acor urhe s uppor g a i t rquetd sa Se Hi r l . 640 F.Supp.at1 (t say a t t t r ntng he e se ty. e kes ndus, 78 é t s o he A cli s agans a non- r tai def nda i pr ry gr nt d whe e t a bir to o t am i t a bir tng e nt s ope l a e r he r tai n he pl ntf c am swoul a la tpa ta l deer ne t is whih f m t bassoft cai ai ifs l i d t e s rily t mi he s ues c or he i he l m agans t non-r tai de e nt' i the abirtng f nda . ). Ast P an if't id ag l n a d wh te t r i p eu iet J C,tma welb o litfs hr r t t n eh r hee s rj dc o HLI i y l e me tu ta n p eu iet J C o t eoh rDee a t wi o c ri tea snc o asa ,b t r e h t o rj dc o HLI r h te fnd n s l c u n h b e e f ty u l p eu ie t t emo ig p ry i n tt eo l fco ta te Co r mus c n ie . Co r i rj dc o h vn a t s o h n y a t r h t h u t t o sd r The u t s as c ene wih e ndi j ca r our s ur c s iy and wih t posi lt of lo onc r d t xpe ng udiil es ce me esarl t he sbiiy i nsse r s t For e m pl a tr Pl i if l ms ag ns Cr nco it nt e uls. xn e, fe antfs'cai ai t own a e r s ve tuoug r e ol d l h a bir ton,bot t pa tes a t s Cour w ilbe a e t t ke t t r ol i i o a co a i r ta i h he r i nd hi t l bl o a ha es uton nt c unt s t afe t t r m ani cli .I d, i ma wel na r t is s e nt l s t f ti l f c s he e i ng a ms ndee t y l row he s ue ve ualy e or ra . J cilr s zc clary wilbe c e v d b t sa Fora 1oft er s ,t Co tgr nt udi a e olr es e l l ons r e y he t y. 1 hes ea ons he ur a s J LI ' m oton f s a H C S i or t y. N one of t r m a ni co- f ndan s N a i i J. Tur r or W i er o d- has he e i ng de e t - tonw de, P. ne , nt r w s p rtl mo e f r a sa o j i d i J C' to b t n ih r h v t e fld a y e aaey v d o ty r one n HLI Smoin, u et e a e h y ie n opposton t i,s t Cour doesnotknow f c rai whehert y a eoppos t a say o no . ii o t o he t or e t n t he r ed o t r t None hel s t Cour has t a hort t s a t pr e ngs he e i t i e ie y,s e A m . t es , he t he ut iy o t y he oc edi r n he r ntr t e Re ve v Cor ,96 F. a 97,a t co tc ude t i a o i t he e.Pl i if c a m s co r p. 3d t nd he ur oncl s hat s ppr pr a e r a ntf s' l i a i tDe enda W i e r ga ns f nt ntrowd ove lp sgniia l wih t rcli s agans Cr wn.The e i ra i fc nty t hei am i t o r s c r a nl l s ofan ove l p be w ee Pl ntf s c a m s a i tCr n,on t one ha a t i e ti y e s r a t n ai i f ' l i ga ns ow he nd, nd he r 8 cli sa ns J.P. ne a Nai am gai t Tur r nd tonwi ,on t ot r6None he e s a dic s d he en, he e de he he . t l s , s s us e r i t r i s me o elp,a d j dca e o o c n ensrn e i p eea l t r s l e a1rman n so v ra n u iil c n my o c r e d r t r frb e o e ov 1 e ii g cai s a onc a t co l i of ar ta i r t r t1 a es i t m i pic me l m t e, t he ncuson bir ton, a he 1% ddr sng he n e e- al f hi as on. For t f eg ng r as ,a e r sng is dic e i t do s t Co t he e he or oi e ons nd xe cii t s r ton o o, he ur r by GR ANTS J C' m oton t sa a STAY S pr ee ngsi t sc e pe ng a bir ton.I HLI S i o t y nd oc di n hi as ndi r tai f t a bir ton t kesa undul l tm e,or i a pa t be ivest ti wils f r ir pa abl he r ta i a n y ong i f ny ry le ha t l ufe re r e ham o b u ul p eu ie fo te c n iun sa ,c u e ma p tto t Co r a a y r r e nd y rj d c d r m h o tn ig ty o nsl y eiin he u t t n tm et e t say. i o nd he t 11 1. CO NC LU SI N O Fort r s s tf t he e n,t t pe ng motonst dimi s ECF Nos 1 1 he ea ons e orh r i he wo ndi i o s s, . 2, 8, a e DEN I W I O U T PR EJUD I .J LI ' M oton t St ECF N o.36,i G R AN TED r ED TH CE H C S i o ay, s a t sca ei he e STAYED pe ngt c nd hi s s r by ndi he omplton oft rbir to pr e ngsbewee ei he tai n oc edi t n Pl i if a Cr n. a ntf s nd ow ENTER:Thi 1 h da ofM a c 201 s 3t y r h 3. / x g q g J .Tlr zk Seni Unied St t D i ti tJ or t a es s r c udge 6I Pari ar i a r t t Courtt , ascom par t t cl m sagai tJ I , t e wilbe n tcul , t ppea s o he hat ed o he ai ns HI,C her l f roverappi f sbet ewe l ng act ween t cai sagai tNatonwi and J. .Tur rand t cl m sr sol i he l m ns i de P ne he ai e ved n ar taton.Thi i prmarl due t t f t ,a l tac di t t Com pl nt W i er owd was a bir i s s i iy o he act hat t eas cor ng o he ai , nt r FI NRA r s e ed agentw ih Cr egit r t own onl untlAugus 2009,w hen he became a r s e ed agentwih J. . y i t egit r t P Tur r.Alhough t Natonw i annuiy was s d t Dr.Cook w hen W i e r ne t he i de t ol o nt r owd wass ilan age wih tl nt t Cr n, t onl ac i Pl ntf s compl n of wih r d t t Natonwi annuiy concer t ow he y tons ai if ai t egar o he i de t n he wihdr t awaloffmds fom t tannuiy i 2010,whe W i er owd was an agentwih J. Tum e Att t r ha t n n nt r t P. r. he tm e oft w ihdr ,t W i er owd appar nty had no afii i wih Cr i he t awal hen, nt r e l flaton t own a al,s t event t l o he s concer ngt wihdr ni he t awalhave l soverap wih t a bir ecl m st do t cl m sagai tJ C. es l t he r tabl ai han he ai ns HLI

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